Zambia Drought Response Operations Plan September 2019

ZAMBIA

DROUGHT RESPONSE OPERATIONS PLAN

September 2019

Generic Outline for Country Operations Plans

1 GENERAL INFORMATION

Contact details of the legal representative and focal point for the operations plan

Name of Country: Legal representative Name: Mr. Chanda Kabwe (permanent Title: Permanent Secretary secretary/ministry) for Ministry/department: Office of the Vice President, Disaster Management and Mitigation Unit plan: Email: [email protected] Phone: +260 966826422 Focal point (or primary Name: Mr. Anderson Banda contact person) for the Title: Director, Disaster Risk Management plan: Ministry/department: Office of the Vice President, Disaster Management and Mitigation Unit Email: [email protected] Phone: +260 9558 38380

And;

Name: Mr. Lenganji Sikaona Title: Assistant Director, Prevention and mitigation Ministry/department: Office of the Vice President, Disaster Management and Mitigation Unit Email: [email protected] Phone: +260 9699 16058

1.1 THE STATUS OF THE COUNTRY IN TERMS OF RISK Brief Overview of Zambia in terms of climatic risk

Country overview and potential Hazards

Zambia is a landlocked country located on the central plateau of the southern African region, with a land area of 752,612 square kilometres and a population of over 17.9 million. Like most countries in the southern Africa region, Zambia is exposed to a number of hazards such as floods, droughts, epidemics, environmental degradation, human/animal conflicts, food insecurity, animal and plant diseases and pests, and road and water accidents, when these hazards affect populations which are not resilient and adaptive to such hazards, the resulting impact is a disaster. The most common disasters Zambia has experienced in the last decade include droughts, floods, pest infestations, epidemics (both human and animal), hail storms and landslides. Further, it has also experienced man-made hazards such as fires, transport and industrial accidents. An increase in trans-boundary risks that are being progressively exacerbated, by population growth, eco-system degradation and unplanned urbanisation. Such risks coupled with high poverty rates and unsustainable land-use management has worsened the current situation thereby reducing the coping capacity and resilience of most communities. In addition, climate change and variability has made it more difficult to predict the behaviour of hazards. Climate-induced changes to physical and biological systems are already exerting considerable stress on the country’s vulnerable sectors. Agriculture and food security, wildlife, forestry, water and energy, health and infrastructure have been adversely impacted, thereby affecting the economic, social, and environmental dimensions of sustainable development efforts

Vulnerability

In Zambia, Agriculture contributes 20% of GDP and accounts for more than 60% of the labour force. In the rural areas, agriculture is the main employer responsible for over 80% of employment. The majority of farmers, almost 98%, can be classified as small-scale farmers whose agricultural activities are almost 100% dependent on rainfall. Therefore, the agriculture sector in Zambia is extremely vulnerable to rain fall patterns which have become more unpredictable under climate change (NAPA 2007; Phiri et al 2013). Like most countries in Southern Africa, El Nino induced drought episodes are increasingly becoming common. Floods and droughts have increased in frequency over the past three decades. For Zambia, based on historical records of El Nino events, the southern half of the country is usually prone to drier conditions (NCCRS, 2010). Drought, flooding, extreme temperatures and prolonged dry spells are

3 threatening rural livelihoods through crop failures and degraded food and water security systems. In the last two to three decades, yields for crops such as maize have been severely affected by extreme drought, flooding and rainfall deficits (NAPA 2007). Climate induced variability undermines attempts to reduce poverty and food insecurity, since most of Zambia’s poor population consists of rural small-scale farmers dependent on climate sensitive economic activities, such as rain-fed agriculture, for their sustenance. According to Zambia Vulnerability assessment reports, the country has a history of drought experienced over a number of seasons for the past thirty years for the following seasons 1987/88, 1991/92, 1994/95, 1997/98, 2001/03 and 2004/05, 2011/12, 2015/16 ,2018/2019 If this sequence is to be followed it means that the country experiences drought every 4 to 5 years. The frequency may likely increase due to the impacts of climate change. Capacity To respond to the effects of these disasters the government has been making efforts to create permanent response mechanisms to deal with these threats while strengthening its preparedness and resilience of communities to reduce impact of these disasters. This includes prevention and mitigation measures such as instituting a strong legal framework and institutional arrangements notably Disaster Management Act and Policy, Disaster Risk Management Frameworks, Climate change policies. It has also created platforms where various sectors such as Agriculture, Education, Health, Water, security meet on a regular basis to develop integrated plans that address disaster risk. Zambia has also strengthened its multi hazard early warning system, from grassroots to national level, through the Zambia Vulnerability Assessment committee, annual forecasting assessments are conducted to determine the seasonal outlook and to put in place appropriate strategies that respond to the anticipated climatic conditions. In preparation for response, Zambia has a multi- hazard national contingency plan (CP) which is developed on an annual basis, to respond to the seasonal outlook. The CP has a number of measures planned for before during and after the disasters. These are broken down to sectors. Other mitigation measures include provision of drought resistance of tolerant crop varieties for the staple crop, winter cropping, conservation farming etc. The government has also tried to include a micro insurance package on the provision of farming inputs. However, these have been challenging during seasons extreme nature or larger magnitude either of shock of either drought or flood. In Such situations, the

4 government has also employed short term measures such as provision of relief to affected households. However, funding of these initiatives has been a challenge on government resources which are intended for other development activities. In light of all these efforts and challenges, there is need to explore innovative financing mechanisms such as insurance systems that are linked to specific trigger levels of shocks/disaster such as the African Risk Capacity initiative, which can provide an early source of financing and early response and alleviate the dire situation that vulnerable households go through. It will also help reduce pressure on government budget and also reduce international response appeals especially during this time characterised by increasing donor fatigue.

1.2 AGRO -ECOLOGICAL MAP

Zambia has three main Agro-Ecological Regions (AERs), as indicated on the map above (Region I-in purple, Region IIA and IIB-in green and Region III in yellow). Region III experiences quite different climatic conditions from region II and I, this is due to the varying altitude and climatic regions based on where the three regions are located geographically. The average annual temperature and rainfall between the regions varies, which results in different climatic risks. (Region III has higher risk of flooding while Region I and II have higher risk of drought because of low levels of rainfall. ▪ Region I is a low rainfall (<800 mm/year) area which covers the country’s major valleys ▪ Region II, the medium rainfall (800-1000 mm/year) area, covers Sandveld plateau of Central, Eastern, Lusaka and Southern provinces. ▪ Region III has the highest rainfall (1000-1500 mm/year)

Annual rainfall is strongly influenced by the shifting of the Pacific Ocean’s El Nino Southern Oscillation (ENSO), the Inter-Tropical Convergence Zone (ITCZ) and the Congo Air Boundary.

1.3 THE PURPOSE OF THIS OPERATIONS PLAN

The operations plan (OP) which will be a subset of the National Contingency Plan is a preparedness tool for drought, that identifies key activities which will be undertaken by the Zambian government to respond to drought, should there be a pay-out from the ARC. The operations plan also articulates how the various roles and responsibilities will be shared between key sectors. In addition, the plan defines how beneficiaries will be targeted and funds will flow from the ARC to the beneficiaries. The Operations plan details how these ongoing activities will be scaled up in the event of a payout, how implementation will be monitored and evaluated. The plan uses country existing disaster management structures that span from nation to satellite or community level.

The Operations Plan is also meant for the ARC Governing Board to determine that the country’s proposed activities meet the eligibility and implementation standards that it has established. After approval the ARC Governing Board then issues a Certificate of Good Standing. The certificate acts as prerequisite for the purchase of drought insurance with the ARC Ltd by the recipient country.

2 INSTITUTIONAL CAPACITY

This section describes the institutional arrangements in place to manage a drought response. This includes the legal disaster management framework and key institutions, and their responsibilities

2.1 EXISTING NATIONAL POLICIES OR LEGISLATION

National policies, strategies, plans and/or legislation related to a) drought and other disaster risk management issues currently in place.

Policy Objectives Changes from previous version Policy or Legislation

National Disaster The National Disaster Management Act was approved by parliament in There have been no further changes to the Management Act April 2010 as the principle law that provides the overall guidance for all Act since it was enacted in April 2010.The national disaster management within Zambia. The Act mainly covers the focus has been to ensure that it is following key elements; adequately adhered to. ▪ Establish the National Disaster Management and Mitigation Unit and provide for it powers and functions and its coordination role; ▪ Puts legal authority to the National Disaster Management regime to mobilize the necessary resources in order to effectively and efficiently deal with emergency situations; ▪ Establish and provide for the maintenance and operation of a system for the anticipation, preparedness, prevention, coordination, mitigation and management of disaster situations and the organization of relief and recovery from disasters; ▪ The Act further defines functions of stakeholders at different levels and hold them accountable for their functions;

▪ Establish the National Disaster Relief Trust Fund; ▪ These operational instruments deal with all disasters which include drought and floods. Disaster Risk The National Disaster management policy was initially put in place in 2005, The current version of the policy (2015- Management Policy and further improved in 2015. This was put in place to provide policy 2020) is an improvement of the 2005 guidance and to ensure promotion of sustainable development among version which was revised based on vulnerable communities and improve their resilience to natural disasters. developments in climate change and DMMU oversees the implementation of the Disaster Management Policy. disaster risk management. Disaster The Disaster management and Mitigation Unit is a permanent wing of the There have been no further changes to the Management and government which coordinates the management and mitigation of all mandate of the DMMU Mitigation Unit disasters. The Unit was established in 1994 under the Office of the Vice President. To this effect the Unit put up operational instruments which include: ▪ The Disaster Management Policy; ▪ The Disaster Management Operations Manual; and ▪ The Disaster Management Act. Which are the guiding frameworks for all disaster prevention, mitigation, preparedness and response initiatives

National Climate The National Climate Change Policy was approved in April, 2016. The This is the first national climate change Change Policy and overall objective of the National Climate change policy is to provide a policy Zambia Climate framework for coordinating climate change programmes in order to ensure Change Response climate resilient and low carbon development pathways for sustainable strategy development towards the attainment of Zambia's Vision 2030. The policy and the climate change response strategy was put in place to ensure that the Government of Zambia; ▪ has a better understanding of its local climate and prediction of local climate change ▪ improves its capacity to assess impacts of climate change and vulnerability; (

▪ makes informed decisions on appropriate adaptation and mitigation actions to respond to climate change; and initiates actions to benefit from other opportunities as provided for in the convention and its Kyoto Protocol while meeting the aspirations and obligations within the international frameworkDMMU has a stake in the climate change policy and chair the adaptation sub-committee. The Ministry of National Development Planning takes lead in coordinating the activities.

The seventh The 7NDP was approved in 2017, as the key 5 year, strategic guide for all The national development plan is National development initiatives across all government sectors. These include the reviewed every 5 years. Development Plan multi sectoral efforts to build national resilience, and strengthen SNDP (2017-2021) preparedness for disaster risk reduction. The Ministry of National Development Planning takes lead.

National National Contingency Plan (NCP) is designed to allow early response to The NCP is reviewed on an annual basis Contingency Plan drought hazards in order to minimise depletion of household assets, based on findings of early warning support and protect lives and livelihoods. It is an all-inclusive and multi- assessments hazard contingency plan in the County with wide participation of partners from different sectors, Government, UN system and Non-Governmental Organisations.

The NCP is an annual document and is spearheaded by the Disaster Management and Mitigation Unit.

2.2 KEY IMPLEMENTING PARTNERS/ DISASTER MANAGEMENT ACTORS

The table below describes the national institutional drought response implementation and coordination mechanism. It identifies critical stakeholder groups from national to satellite level and their roles in the disaster management framework of Zambia. The table explains the organogram provided in table 2.3.

Key Stakeholders Role

National Level 1. Institution: The Disaster Management and The Disaster Management and Mitigation Unit (DMMU) is a Unit under the Office of the Mitigation Unit Vice-President whose vision is to provide a "safety net" for protection of the citizenry and their assets and the environment against disasters through a pro-active, community- Substantive in Charge: The National Coordinator based, developmental and multi-sectoral approach that combines disaster preparedness, Disaster Management and Mitigation Unit prevention and mitigation and integrates disaster management into national Office of the Vice President development. It was created in 1994. The following are the objectives of DMMU: Lusaka, Zambia ▪ To put in place appropriate preparedness measures in order to manage disasters +260 25 26 92 effectively and efficiently. ▪ To activate response mechanism for effective and timely search and rescue operations in order to save life and reduce damage to property. ▪ To put in place measures to restore livelihoods and other life support systems to affected communities. ▪ To mitigate the disruptive and destructive effects of hazards and all disasters in order to reduce their impact on vulnerable communities, assets and the environment ▪ To put in place preventive measures in order to reduce the negative effect of hazards and strengthen the national capacity for disaster management in order to avoid the adverse impact of hazards. ▪ To effectively co-ordinate disaster management activities through a body of procedures and practices in order to avoid duplication of efforts and resources at all levels.

Key Stakeholders Role

2. Institution: The National Disaster The National Disaster Management Council of Ministers Committee, chaired by the Vice Management Council of Ministers Committee President, and Minister of Defence as Vice Chairperson, shall constitute the supreme policy-making body for national-wide disaster management in the country. Substantive in Charge: Vice President, Zambia Chairperson, National Disaster Management It comprises of the following Cabinet ministers: ▪ Vice President (Chair) Contact Details: Office of the Vice President. ▪ Minister of Defence (Vice Chair); Cabinet Office 4th Floor Independence ▪ Minister of Home Affairs; Avenue P.O. Box 50773. Lusaka, Zambia. ▪ Minister of Communication and Transport; ▪ Minister of Agriculture and Cooperatives; Tel: +260 97 6 663377 ▪ Minister of Energy and Water Development; ▪ Minister of Finance and National Planning; ▪ Minister of Local Government and Housing; ▪ Minister of Community Development and Social Services; ▪ Minister of Works and Supply; ▪ Minister of Mines and Mineral Development; ▪ Minister of Health; ▪ Minister of Tourism, Environment and Natural Resources ▪ Minister of Education o. Minister of Information and Broadcasting Services

3. Other pertinent national entity: The Disaster Management Technical Committee is multi-sectoral, acting on behalf of the National Disaster Management Technical National Disaster Management Council of Ministers Committee and chaired by the Committee (NDMTC) Permanent Secretary, Office of the Vice President. It is the overall technical supervisory body of disaster management activities in the country. The composition of the NDMTC Chair: Permanent Secretary, office of the vice are Permanent Secretaries from the following Ministries: president ▪ Office of the Vice President (Chair) ▪ Ministry of Defence (Vice Chairperson); ▪ Ministry of Home Affairs;

Key Stakeholders Role

Contact Details: Office of the Vice-President. ▪ Ministry of Communication and Transport; Cabinet Office 4th Floor Independence ▪ Ministry of Agriculture and Cooperatives; Avenue P.O. Box 50773. Lusaka, Zambia. ▪ Ministry of Energy and Water Development; ▪ Ministry of Finance and National Planning; ▪ Ministry of Local Government and Housing; ▪ Ministry of Community Development and Social Services; ▪ Ministry of Works and Supply; ▪ Ministry of Mines and Mineral Development; ▪ Ministry of Health; m) Ministry of Tourism, Environment and Natural Resources ▪ Ministry of Information and Broadcasting Services ▪ Ministry of Education ▪ United Nations Resident Coordinator ▪ Church Representative Sub-regional Level 4. Sub Committee of the National Disaster The NDMTC Sub-committees assists DMMU with technical inputs in order to improve Management committee (NDMTC) co-ordination, programme planning and implementation. The chairmanship and Subcommittee) membership (i.e., drawn from technical officers, disaster managers in line ministries, Rotational chairmanship which can be drawn UN System, NGOs, private sector and other stakeholders) of the sub-committees should from line ministries depending on the sector of vary according to the nature of particular subject areas under consideration. They also the issue in question. hold regular meetings to address issues and problems from Provincial and District Disaster Management Committee levels.

The key sub-committees are the following: ▪ Sub-committee on Health, Water, Sanitation and Nutrition; ▪ Sub-committee on Finance and Tender ▪ Sub-committee on Infrastructure, Relief and Logistics; ▪ Sub-committee on Agriculture and Environment; ▪ Sub-committee on Security;

Key Stakeholders Role

▪ Sub-committee on Early Warning Systems; ▪ Sub-committee on Training and Public Education. The main functions of the Sub-Committees are as follows: ▪ Generating portfolio information through DMMU to NDMTC for timely decision making. ▪ Serving as fora for updating skills, reviewing case studies, promoting and setting agenda for trainings. ▪ Creating awareness on respective subject matter ▪ Participating in risk analysis and vulnerability assessment ▪ Playing a technical advisory role and not duplicate the roles of the executive committee at any level. ▪ DMMU facilitates the nomination and appointment of members of the technical sub-committees from the various stakeholder institutions. ▪ Help DMMU coordinate and supervise the implementation of portfolio activities and Programmes 5. Provincial Disaster Management Committee The Provincial Disaster Management Committee, a sub-committee of the Provincial Chaired by permanent secretary of the ministry Development Coordinating Committee (PDCC), comprises of; Heads of those responsible for the issue at hand Departments and other stakeholders that are likely to be involved in disaster management. Officers in Charge of the overall management of districts may be co- opted into the PDMC. It is a forum for disaster prevention, preparedness and mitigation activities in the province and an essential link between national objectives and local priorities. Composition: All Government Heads of Departments, NGOs, Private Sector and Church Secretariat: Provincial Disaster Management Coordinator

Key Stakeholders Role

The main functions of the PDMC include: ▪ Preparing and consolidating provincial disaster management plans; ▪ To act as clearing house for information related to early warning. ▪ Monitoring the preparation and implementation of district disaster management plans and evaluating their impact; ▪ Participate in Risk Analysis and Vulnerability Assessments ▪ Mobilizing provincial resources for implementation of mitigation, prevention, preparedness and response activities ▪ Coordinating provincial level multi-sectoral input into national disaster management plans; ▪ Collecting and disseminating information on provincial disaster management issues; ▪ Acting as a channel for information and resources between central government and districts; ▪ Promoting and implementing disaster management training at provincial level and ensuring that training programs are carried out at district level; ▪ Promoting public awareness at provincial and district levels; and ▪ Performing emergency operations for the province in times of disasters.

Implementing Level1 6. District Disaster Management Committee The District Disaster Management Committee directly deals with the impact of a (DDMC). disasters and coordinates operations of disaster preparedness, prevention and Chairperson: Officer in charge of overall mitigation at the district level. It is a sub-committee of the District Development management of a District Coordinating Committee.

1If the implementation is expected to be decentralized (e.g. lower-level administrative units select the implementing NGOs) please add rows to list the key contact person for each admin unit in the table AND as an annex, provide a list of the NGOs (by admin unit) capable of implementing the activity.

Key Stakeholders Role

The District Disaster Management Committee comprises of Heads of those departments and other stakeholders that are likely to be involved in disaster management as determined by the DDMC. Composition: All Heads of Department, NGOs, Private Sector, Church Secretariat: District Administrative Officer, All NGOs dealing with disaster management at district level

Assessment and early warning information work through DDMC of which all relevant government departments are members. The Secretariat of the committee operates and update a database on disaster related information. The main functions of the DDMC shall be: ▪ Ensuring that the flow of early warning information from community to provincial levels is running smoothly; ▪ Participate in Risk Analysis and Vulnerability Assessments ▪ To act as clearing house for information relating to early warning. ▪ Coordinating district disaster management activities; ▪ Preparing and updating district multi-sectoral disaster preparedness, prevention and mitigation plans for slow-and rapid-onset disasters; ▪ Reviewing and updating district disaster plans during times of nonemergency ▪ Mobilizing resources for district disaster management and preparation of budgets; ▪ Implementing disaster management training programs at district level; and ▪ Implementing public information and public awareness programs in the district. ▪ The Chairperson shall identify and appoint new or co-opt members as need arises upon consultations with the general membership of the DDMC. 7. Satellite Disaster Management Committee The Officer in Charge of the overall administration of the district ensures that each (SDMC). The chairperson of this committee is village or cluster of villages within each chiefdom has a permanently established elected by the committee.

Key Stakeholders Role

Satellite Disaster Management Committee. The local community elects their representatives to SDMC. The SDMC through the chairperson reports to the District Disaster Management Committee which shall facilitate, co-ordinate and supervise its work. The composition of the SDMC includes ten (10) members as follows: - ▪ a representative of traditional leadership, ▪ at least three local persons trained in any sector (e.g. teacher, extension officer, health worker or any skilled person, etc), working for government, NGOs or CBOs ▪ representatives of major religious groups operating in the area, ▪ Two men and two women selected to represent the community, ▪ at least one youth to represent the youth population in the area, ▪ a prominent businessman or farmer and ▪ a local representative of an NGO involved in disaster management or relief work. The responsibilities of the SDMC includes: ▪ Overseeing disaster preparedness, relief and post-disaster recovery activities of individuals and households in its area; ▪ Identification of vulnerable households and individuals ▪ To act as clearing house for information related to early warning. ▪ Acting as primary responding and mitigation agent within the existing capacities of the community ▪ Participate in Risk Analysis and Vulnerability Assessments ▪ Acting as information and reporting channel for the community with regard to disaster management issues at the local level; ▪ Sensitizing local community on the effects of disasters and appropriate responses;

Key Stakeholders Role

▪ The Secretariat of the committee should be elected by the committee and shall maintain a database on disaster management related information. Gender concerns shall be incorporated into the composition, responsibilities, roles and activities of committees and efforts shall be made to ensure equal representation of men and women in committees at all levels.

2.3 DISASTER RESPONSE ORGANISATION CHART Roles and responsibilities are described in the table in 2.3.

Coordination Mechanism for the Implementation of the 2019/2020 Recovery Action Plan

For the 2019/2020 Response to the drought, the country has adjusted the existing Disaster Management structure to address issues of coordination mechanism as indicated in the chart above. The sectors identified above addresses lifesaving activities as priority. The coordination mechanism has been arranged in such a way that the lead institution on the government side is chair of the sector and the UN System is a co- chair. Further, it highlights the reporting lines and the inclusion of the media at every critical stage in order to avoid information gap. The purpose of this coordination mechanism is to promote accountability, curtail duplication of efforts and ensure that mandates of institutions/agencies are synergized in a manner that ensures that all vulnerable groups are taken care of.

3 KEY ASSESSMENTS

3.1 EXISTING ASSESSMENT PROCESSES The table below highlights the key assessments that are conducted by the government of Zambia to inform decision making in the disaster management cycle.

Assessment Name/Type Description of the process

Rapid Assessment The main objective of Rapid Assessment is to assess the impact of rainfall on different sectors especially both crops and livestock in the selected districts of the country in view of the prolonged dry spells. The assessment is impact based. Specifically, the Assessment is designed to: • Determine the impact of dry spells on the cultivated maize crop. • It also identifies the worst affected areas as well as the population affected to recommend appropriate response and recovery interventions to the affected households.

Districts to be assessed are based on the early warning information issued by the Zambia Meteorological Department (ZMD) which indicate the performance of the rainfall throughout the country over the cropping season. The ZMD provides information such as; i) Rainfall performance since the Start of the season; and ii) Water Requirement Satisfaction Index (WRSI) The districts that has received below normal rainfall are then targeted for the rapid assessments. In addition to the early warning information from the ZMD, the selection of the districts is also dependent on the reports received from the District Disaster Management Committee (DDMCs) in the affected districts. The Assessment uses mixed methods, both qualitative and quantitative methods, to gather and analyse the data. Structured questionnaires are administered to the District Disaster Management Committee members especially the agricultural staff at district and camp levels in order to capture data. The questionnaire captures information relating to rainfall performance, input availability and impact of hydro – meteorological hazards on crops and livestock in the selected districts. The interviewers also used intelligence observations of the situation in the field to draw inference on indicators of interest.

The assessment is paid for by the Government of Zambia and the cooperating/humanitarian partners. The most recent Rapid Assessment conducted was during the 2018/2019 drought, covering a number of districts in southern, western and parts of eastern provinces respectively. 2. In-depth Vulnerability and Needs The In-depth vulnerability and needs assessment is conducted annually by the Zambia Assessment vulnerability assessment committee (ZVAC) at the end of the cropping season (May-June), paid for by the Government of Zambia, cooperating humanitarian partners and Southern African Development Community (SADC) Regional Vulnerability Assessment and Analysis (RVAA) Programme

This builds on findings of rapid assessments the Crop Forecast Survey reports and reports of districts and wards which have been identified as affected by prolonged dry spells or drought. The assessment focuses on multiple sectors which have impact on food security and people’s livelihood notably agriculture, water and sanitation, health, nutrition, food security among others.

The key objective is to determine the number of people affected, their geographical areas, and their food and non-food needs. These findings inform policy formulation and programming appropriate interventions for the national drought response strategy.

The Vulnerability assessment committee comprises of representation from both state and non-state actors in disaster management such as UN agencies, non-governmental organisations, government departments e.g. Health, Agriculture, DMMU, Water, Community development and social welfare, Local government, Finance.

Mixed methods are used to conduct the assessments, to a large extent Household surveys, secondary data review from district disaster management committee reports and rapid assessment reports focusing on key indicators such as water requirement satisfaction index (WRSI), commodity prices, crop performance, income sources, nutrition, labour opportunities, among others.

The analysis of the data is done by the ZVAC members using statistical package combined with the Integrated Food Security Phase Classification (IPC) protocol. One of the pre-requisite requirements for the analysis team is that they must be certified IPC analysts. The assessments enhance the effectiveness of response by ensuring that humanitarian response is specifically tailored to those identified as most vulnerable and impacted by disaster. The recommendations of this assessment inform the national disaster response action plan.

The key limitation of this process is accessibility for some of the areas by road due to poor road network, particularly for household surveys and limited financial resources to be able to effectively conduct the assessments. The inaccessibility of these areas means the assessment teams have to be airlifted to the affected areas to conduct assessments thereby blowing up the budget.

3. Annual Market Assessments This is an assessment conducted by the Zambia Vulnerability Assessment Committee. A module on markets is included in the In-Depth Vulnerability and Needs Assessment Tool and therefore the resource envelop is the same.

Annual Market assessments are evaluations conducted annually and measures the extent to which the market makes goods and services available to meet demand, particularly during a time of drought. When markets perform well, households that have cash are able to find and buy what they need, when they need it at an affordable price.

When markets are not performing well, such households are either unable to find sufficient goods and services on local markets or can find it only at excessively high prices that often include unreasonably high trading margins. The following aspects are critical to determining market performance, prices and commodity flows: The market structure includes the number of buyers and sellers, the ease (or difficulty) with which buyers and sellers can enter the market (become part of it), the size of markets, the volume of commodities traded and the degree of coordination and communication between the different levels in the marketing system.

It refers to the different actors in the supply chain and what functions they perform or control, and how markets are linked by transport, storage and communication infrastructure.

Findings from the market assessments inform response strategies to be utilised during a time of drought or pro longed dry spells. For instance, if commodities available on the market are insufficient to meet demand, then government will prioritise food assistance over cash distribution. 4. Crop Forecasting Survey- an Example of The Crop Forecasting Survey (CFS) serves as an early warning system to Government and other Early warning stakeholders with respect to national food security. The survey is undertaken from March - April and is conducted by the Ministry of Agriculture and the Central Statistical Office (CSO). The survey is paid for by the Government through the Ministry of Agriculture.

Results of the CFS can indicate, in ample time, whether the nation will experience a food deficit or not. Information obtained from farmers during the CFS includes: area planted to various crops, expected production, expected sales, quantity of fertilizer used, among many other variables. This information is used to assess the food security situation in the country and also to produce the National Food Balance Sheet (NFBS).

The NFBS is used to determine the surplus or deficit of major cereals and tubers in the country. This information is vital to the government, NGOs, private sector particularly traders as well as donors for strategic planning and decision-making purposes. Such strategic decisions may relate to local marketing and import/export issues

5 Post-harvest Assessment The Post-Harvest Survey (PHS) on the other hand provides actual crop production as opposed to estimates provided by the CFS, this assessment is conducted after harvest (September – October) and is paid for by the Government through the Ministry responsible of Agriculture. The major objectives of the PHS are; - To provide key Agriculture Performance Indicators for the National Development Plans.

- To provide public institutions, the private sector, research organizations and other stakeholders with indicators of seasonal agricultural performance for planning and research To provide agricultural production figures used for calculating the agriculture sector's contribution to the country’s Gross Domestic Product (GDP). - To provide Government institutions, the donor community and other international partners with useful information that will enable the formulation of developmental programs for improving food security. - To provide baseline data used in carrying out Vulnerability Assessment and Mapping (VAM). - To generate information that will contribute towards preparedness and mitigation of disasters. - To provide the ministry of Agriculture (MoA) with indicators used for Agriculture Sector Performance Analysis for agricultural policy, planning and decision making. 6 Southern African Regional Climate This is an early warning forecast produced by SADC Member States and downscaled to the Outlook Forum (SARCOF)- early warning Zambia’s context by the Zambia Meteorological Department (ZMD) at the beginning of the season by August. The aim of the SARCOF is to produce the rainfall seasonal forecast. The forecast is produced with technical support from regional and international meteorological experts within the Southern African Regional Climate Outlook Forum (SARCOF) framework.

Once the agricultural season has started, the Meteorological Office produces several reports on the season performance. The reports include medium range forecasts which are ten-day forecasts and are mostly used by farmers and daily prepared shorter-range forecasts that are disseminated to the public through television broadcasts and many other media channels.

The information provided here is used to review and update the annual National Contingency Plan for the coming season.

4 COUNTRY DROUGHT PROFILE

4.1 DESCRIBE THE GENERAL PATTERN OF RAINFALL Zambia is divided into three (3) main Agro-ecological zones, mainly on the basis of rainfall characteristics but also incorporate soils and other climatic characteristics.

Zambia is divided into three (3) main agro-ecological regions mainly on the basis of rainfall and soil characteristics. Agro-ecological region I falls between 300-900 meters above sea level (masl) and covers the Luangwa valley in Eastern and Gwembe valley in Southern part of the country. It also partly covers Western, Central, Sothern and Eastern provinces. The region receives 600 to 800m of rainfall per annum and is characterised by short growing season (80-120 days), low and poorly distributed rainfall, high temperatures and evapotranspiration usually prone to dry-spells and droughts. Some of the areas in the region may experience more than 50 days of drought.

Agroecological region II is subdivided into IIa and IIb and lies between 900 to1300 masl in the central part of Zambia. Regional IIa includes the plateau areas of Eastern, Central, Southern and Lusaka provinces where soils are fertile whilst regional IIb covers the Kalahari sand plains and Zambezi flood plains of Western Province. This region receives rainfall of between 800 to 1000mm per annum and it is the major agricultural area of Zambia with the growing period averaging 100 to 140 days. In the wake of climate change this region has been experiencing dry spells and droughts.

Region III covers Copperbelt, Northern, North-Western, Muchinga and Luapula provinces and receives annual rainfall exceeding 1000mm. Agro-ecological regional III is characterized by acidic soils and floods occurrences. The average growing period ranges from 140 to 160 days. Despite receiving high rainfall the regional in recent past has been experiencing reduction in rainfall.

The three agro ecological Zone with zone 3 in the northern party have the early onset of the rains with above 1000mm late off set while the southern half which has zone 1 and 2 has late onset and early off set of rainfall.

Region I less than 800mm Region IIA&IIB 800mm to 1000mm Region III above 1000mm

4.2 PROVIDE GENERAL GEOGRAPHICAL DISTRIBUTION OF DROUGHT The Country has ten (10) Provinces and 116 districts. The table below indicates all regions and districts in Zambia and indicate which of these areas have been prone to drought in last 10 years. For those zones prone to drought, complete columns D and E by listing the top three crops by area planted and any other economically important livelihood activities (e.g. pastoralism, fisheries, etc.) in each area.

Please add more rows to the table as needed to ensure you list all regions and districts. # A. Regions B. Districts (Admin 2) C. Drought D. Top 3 crops by area planted E. List other important livelihoods (Admin 1) prone (only in drought-prone zones) (e.g. pastoralism, fisheries, etc.) (yes/no) Only in drought-prone zones) 1 Southern Chikankata, Yes Maize, Cotton, Soya bean Livestock, Fisheries Mazabuka, Pemba, Gwembe, Siavonga, Sinazongwe, Choma, Monze, Kalomo, Zimba, Kazungula, Namwala, 2 Western Sesheke, Lukulu, Yes Rice, Maize, Millet Livestock, Fisheries, Timber-Logging Kalabo, Kaoma, Limulunga, Luampa, Mitete, Mongu, Mulobezi, Mwandi, Nalolo, Nkeyema, Senanga, Shangombo, Sikongo, Sioma 3 Lusaka Chongwe, Chilanga, Yes Maize, Soya-bean, Ground nuts Livestock, Chirundu, Chongwe, Rufunsa, Luwangwa, Kafue

4 Eastern Mambwe, Lundazi, Yes Maize, Soyabean, Ground nuts Livestock Chasefu, Katete, Lumezi, Nyimba, Petauke, Sinda, Chadiza, Lusangazi 5 Central Mumbwa, Yes Maize, Soyabean, Ground nuts Livestock Chibombo, Chisamba,Shibuyunji, Itezhitezhi, KapiriMposhi, Luano, Ngabwe, Serenje, Mkushi 6 North-Western Chavuma, Ikelenge, Yes Maize, Rice, Ground nuts Livestock Kabompo, Kasempa, Kalumbila, Manyinga, Mufumbwe, Mushindano, Mwinilunga, Solwezi, Zambezi

7 Muchinga Chama , Chinsali, Yes Maize, Rice, Groundnuts/Beans Livestock Chilinda, Isoka, Kanchibiya, Lavushimanda, Mafinga, Mpika, Nakonde, Shiwang'andu

8 Northern Kaputa, Chilubi, No Maize, Rice, Groundnuts Fisheries Kasama, Luwingu, Mbala, Mporokoso, Mpulungu, Mungwi, Lupososhi, Senga Hill, Lunte and Nsama. 9 Copperbelt Chililabombwe, No Maize, Ground nuts Mining Chingola, Kalulushi, Kitwe, Luanshya, Lufwanyama, Masaiti, Mpongwe, Mufulira and Ndola 10 Luapula Chembe, Chiengi, No Maize, Groundnuts Mining Chipili, Kawambwa, Lunga, Mansa, Milengi, Mwansabombwe, Mwense, Nchelenge and Samfya

Three (3) of the 10 provinces (Copperbelt, Luapula and Northern) have a relatively low risk to drought as they have consistently received above normal rainfall in the last 10 years. Populations living in these provinces primarily depend on mining and fishing as their source of livelihood. The level of dependency on agriculture is relatively lower than the other provinces.

4.3 HISTORICAL DROUGHT DESCRIPTION The table below describes Zambia’s drought conditions for the past 10 years. It also provides a list of key regions impacted by the drought, the source of the drought data, an indication on official declaration. Zambia has not given an official declaration for the last 10 years because the government believes that it has put in place systems to manage the disasters.

Year Key regions/provinces impacted Source of drought Was drought officially Food security conditions information declared? (Yes/No) 2009 - ZVAC No No drought

2010 ZVAC No No drought - 2011 ZVAC No No Drought 2012 Eastern, Southern, North-Western ZVAC NO Moderate 2013 Western, Southern, Lusaka, ZMD/ZVAC NO Moderate Luapula, Muchinga, and Northern 2014 ZMD NO 2015 Western, Southern, Eastern, ZMD/ZVAC NO Moderate Central and North-Western 2016 ZMD/ZVAC NO Severe Western, Southern, Lusaka, Eastern and Central 2017 Western, Southern, Lusaka, and ZMD/ZVAC NO Moderate Eastern 2018 Western, Muchinga, Southern, ZMD/ZVAC NO Moderate Lusaka, Eastern and Central 2019 Western, Southern, North- ZMD/ZVAC NO Severe Western, Lusaka, Eastern, Central and Muchinga

4.4 HISTORICAL DROUGHT IMPACT (IN TERMS OF NUMBER OF VULNERABLE)

Describe the impact of drought in your country in the past 10 years in terms of number of individuals/households requiring assistance. At a minimum complete row A, which shows the number of affected as defined by the ARV output. If ARV configuration has not yet happened, please clearly indicate that this information is not yet available.

If there are other official sources of vulnerability numbers for historical years, please enter this information by adding additional rows to the table, and indicating the source of the information.

Impact of Year drought Source 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 by data source A # of affected ------as estimated by B # of affected ARV 0 0 8,202 74,176 0 326 286,493 1,992,159 1,065 1,309,493 3,415,081 determined by: C # of affected ZVAC 0 0 0 389,124 1,269,054 0 612,840 1,041,852 77,088 831,743 2,330,182 determined by:

4.5 HISTORICAL DROUGHT RESPONSE INTERVENTIONS The numbers in the table below, only include the assistance provided by government, there has been support from other humanitarian actors however this has not been included because government does not have direct access to this data.

Response to drought Year By activity and source 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019, A # of individuals assisted with FOOD 0 0 389,124 1,269,054 0 612,840 1,041,852 77,088 831,743 2,330,182 DISTRIBUTION source of information: _DMMU______The ZVAC encompasses all hazards approach whereas ARC looks at drought. The ARC is mainly based on modelling while the ZVAC is assessment based.

4.6 DISCUSSION/ANALYSIS OF THE HISTORICAL DROUGHT CONDITIONS, VULNERABLE, AND RESPONSE

For the past 10 years Zambia has been experiencing episodes of prolonged dry spells. These have affected many households leading to wilting, scorching or total crop failure in the field. Many households have been affected recurrently leading to chronic food insecurity. The Zambian Vulnerability Assessment Committee (ZVAC) is mandated to assess food security and livelihood vulnerability in the country to determine the extent of the damage and also number of people affected.

ZVAC is comprised of representatives from various government departments and a representation of all key all key humanitarian actors. The assessments findings which are triangulated to minimise bias, inform all response activities by humanitarian actors. The objective for response activities is to target 100% of vulnerable populations that have been impacted.

ZVAC assessments take into account multiple drivers for food security and vulnerability such as rainfall distribution, food production, house-hold poverty levels, commodity prices among others. The assessment figures provided in the table above include all possible hazards that Zambia is exposed to. Increasingly in the recent years Zambia has experienced flooding and insect infestation by army worms. A large portion of individuals targeted for response in 2013 and 2016 were impacted by floods and army worms.

The assessments are conduced twice a year soon after the beginning of the harvesting period in May/June, and later at the start of lean season in October/November. In the past decade, the worst drought was experienced in the 2018/2019 agriculture season causing over 2 million people to be food insecure in the country during the 2019 food consumption season.

Recent Drought Experience: 2018/2019

As a result of the current drought, estimated by the ZVAC to have affected 2.3 million people, the majority of the affected population do not have sufficient food stocks to last them to the next growing season. These households lacked financing to procure maize that was available in the market and had likely also suffered the loss of the previous year’s crop due to dry spells, further eroding their resilience.

5 OPERATIVE ACTION PLAN

5.1 ARV DROUGHT SCENARIOS

Define a set of scenarios based on possible pay-out amounts2. The objective here is to determine four possible scenarios that are different enough to result in changes in how a country might spend the ARC funding, thus causing a different set of procedures to be implemented. We have provided some standard benchmarks. Please replace the highlighted sections with what makes the most sense in light of your country’s contingency planning processes.

2The risk indicator (or what determines the severity of the drought and ultimately the size of a payout) is parametric satellite rainfall data. These data are fed into African Risk View (ARV) and combined with other pre-configured data on population vulnerability figures, costs of activity implementation, etc. to determine the payout amount.

Scenario Description #1: No pay out Average year with regards to rainfall. No pay-out from ARC insurance is expected. #2: Small pay out Below average rainfall, coinciding with the severity of a 1 in 5year drought. Expected ARC pay-out around USD 1 million. #3: Medium pay out Below average rainfall, coinciding with the severity of a 1 in 7-10year drought. Expected ARC pay- out around USD 5 million. #: 4 Large pay out Well below average rainfall, coinciding with the severity of a 1 in 30year drought. Expected ARC payout of the ARC maximum of USD 30 million OR the country maximum based on the risk transfer parameters.

5.2 GEOGRAPHICAL AREAS AT RISK

Define ‘at risk’ areas and estimated numbers of affected people based on different pay out scenarios. List all potential areas that could potentially be impacted by drought and thus eligible for ARC funding. The objective of this step is to better understand the magnitude of impact based on the severity of the drought3.

3Here we assume that a small pay out is related to a less severe drought. This assumption is based on the simulation which uses historical rainfall data to find a year or years which would have triggered a certain pay out based on the scenarios (e.g. USD 500,000, USD 5 million, USD 30 million) and then calculates the number of people affected based on the most recent vulnerability profiles sourced from household data. We recognize that this is only simulated data and does not include all the relevant information that might impact vulnerability numbers (e.g. market dynamics, conflict, etc.); however it provides a starting point by which to better understand the required size of a response under different scenarios.

Use ARV historical rainfall data from small, medium and large pay out years as the source of your information.

Estimated number of vulnerable people under each Admin Level 1: Admin Level 2*: pay out scenario Total Population (Region/Province) (District) No Small pay Medium Large pay out out pay out pay out Southern Chikankata, Mazabuka, Pemba, - Up to 10% 10-15% Over 15% Gwembe, Siavonga, Sinazongwe, Choma, Monze, Kalomo, Zimba, Over 277855 Kazungula, Namwala, 1852361 185236 277855 Western Sesheke, Lukulu, Kalabo, Kaoma, - Over 156225 Limulunga, Luampa, Mitete, Mongu, Mulobezi, Mwandi, Nalolo, Nkeyema, Senanga, Shangombo, Sikongo, Sioma 1041500 104150 156225 Lusaka Chongwe, Chilanga, Chirundu, - Over 477950 Shibuyunji, Rufunsa, Luwangwa, Kafue 3186336 318633 477950 Eastern Mambwe, Lundazi, Chasefu, Katete, - Over 294190 Lumezi, Nyimba, Petauke, Sinda, Chadiza, Lusangazi 1961269 196126 294190 Central Mumbwa, Chibombo, - Over 261599 Chisamba,Shibuyunji, Itezhitezhi, KapiriMposhi, Luano, Ngabwe, Serenje, Mkushi 1743999 174399 261599 North Western Chavuma, Zambezi, Kabombo - Over 135390 902631 90263 135390 Muchinga Chama, Mafinga, Isoka - Over 151748 1011655 101165 151748

Northern Kaputa, Chilubi, Kaputa, Kasama, - Luwingu, Mbala, Mporokoso, Over 135395 Mpulungu, Mungwi, Lupososhi, 902631 90263 135394 Senga Hill, Lunte and Nsama

Use the lowest level of granularity within ARV (the level at which the household survey data we have is statistically representative)

5.3 CONTINGENCY PLANNING PROCEDURES FOR DROUGHT

How the ARC Pay-out will be utilised

The ARC pay-out will be utilised to provide quick support for targeted food and cash assistance to the affected people in the first 6 months while stakeholders and partners are mobilizing additional resources for the rest of the response. The large-scale drought affecting large population would require larger amount of resources to meet the needs of the affected people, It takes time for the Government and stakeholders to mobilize timely resources for a quick response. The pay-out from ARC would facilitate this role in order to save lives for those that need immediate assistance.

Pay-Out of 1 million USD

If Zambia received a pay-out of $1 million pay-out, the funds would be used mainly for targeted food distribution to the drought affected people in need. The government normally provides food assistance on an annual basis based on the findings of in-depth assessments. The food distribution intervention would be prioritised over cash distribution for a relatively small drought as this is the core of the government’s response strategy, only in medium and severe humanitarian emergencies the government will also implement cash transfers. The ARC pay-out will be utilised for the early response window while government and other stakeholders would mobilize additional resources to cover all needs. The ARC pay-out will be used for the initial response activities.

Pay-out of 5 million USD

For a 5 million pay-out triggered by a medium sized drought, the government will utilise this pay-out for the two interventions elaborated in this operations plan; Food Distribution and Cash transfer. The food distribution would be prioritised for at least 75% of the pay-out, and the remaining

25% would be allocated for the cash transfer. This is because the primary response for government is the food distribution, the emergency cash transfer kicks in as complementary to the food distribution where the impact of the drought is high.

Pay-out of 30 million USD

A $30 million pay-out will be allocated as follows: $20 million Emergency targeted food distribution and $10 million for Cash Transfer to assist affected people in need. In the case of a severe nationwide drought which would trigger this maximum pay-out, the same logic applies regarding market conditions.

5.4 INTERVENTION DETAILS.4

Intervention Type Program type Intervention Name Description (tick box that applies) 1. Emergency Cash Transfer A. Emergency Cash √ □ Scalable The unconditional Emergency Cash transfer Transfer: need- √□Emergency (intervention is intended to address acute based □Other {______} vulnerability, food insecurity and livelihoods [specify, e.g. needs diversification in an event of humanitarian assessment] emergencies such as drought. It aims at empowering people with choice to address essential needs for their households., but also further complement food distribution.

2. Food Distribution C. Food distribution: √ □ Scalable This will be an unconditional, need based short-term need-based √□Emergency distribution of food items (cereal and pulses) to assist □Other {______} vulnerable populations in the affected geographical [specify, e.g. needs areas meet their energy and nutritional needs. The assessment] cereal is provided by the Government of Zambia.

4 Emergency cash transfer is scalable as the programme is shock response

Intervention Types A Cash Transfer: need-based G Nutrition supplement B Cash Transfer: for work H Seed distribution C Food distribution: need based I Fodder Provision D Food distribution: for work J Water trucking E Supplementary feeding K Borehole development F Distribution of food stamps, vouchers, coupons L Other: ______

EMERGENCY CASH TRANSFER-NEED BASED

Intervention Name 5.4.1 4 Emergency. Cash Transfer 1

Intervention Brief Description 5.4.2 1 The4 emergency cash transfer intervention aims at leveraging cash to meet food and other needs of beneficiaries during . humanitarian emergencies, in circumstances where communities have functional markets. When used appropriately, cash transfers 3 enhance dignity of choice and diet diversity of the targeted beneficiaries and boosts the local economy but also further enhances the resilience of the beneficiaries.

This intervention will be a need-based, targeting vulnerable households which have been impacted by drought in areas which have functioning markets. The key objective is to provide the households with liquidity which gives them flexibility to meet their day to day needs, and to protect them from negative coping mechanisms because of climatic shocks.

The provision of cash empowers the affected populations decide on their own how to meet their own needs using available local resources. The main criteria for this intervention is the level of neediness for the targeted households; and their levels of vulnerability, without further obligations such as work for the beneficiaries to fulfil.

The government of Zambia has an existing social cash transfer program which assists the most vulnerable individuals with $9 cash support, implemented by the ministry of community development. The emergency cash transfer will leverage on part of this programs infrastructure which already targets most vulnerable populations who are the most impacted during drought.

The criteria of vulnerability which will be used to select beneficiaries; are households which are at the bottom of the poverty index (ultra-poor) and have a limited ability to generate income of their own (labour constrained), such us elderly, those with chronic illnesses, child headed households, female headed households, pregnant women, lactating mothers, children.

A cash amount of $9 per month will be distributed to those that are identified to meet these criteria. This cash will be complementary to other forms of support such as food assistance. The aim is to provide these individuals with flexibility to provide for their needs, and to slowly begin to enhance their resilience.

The geographical areas to be targeted and number of people is primarily informed by findings of In-depth assessments that are conducted at the end of the season. To further identify households to be targeted within these areas, the satellite and district disaster management committees, which are comprised of community headmen, local NGOs, Faith Based Organisations, identify the most vulnerable households.

Multiple delivery methods are used to transfer cash to the beneficiaries;

- Cash Distribution centres are selected, these are usually schools in the communities where the beneficiaries go to collect the cash. Typically, this approach is used where beneficiaries do not have registered mobile numbers. - Where beneficiaries have registered mobile numbers, mobile money such as airtel money may be used to deliver cash to beneficiaries

Meeting ARC Eligibility and Implementation Criteria 5.4.3 1 4 a. Time-sensitivity and/or catalytic criteria .

4 The Emergency cash transfer will be delivered through existing social cash transfer structures, from national, cascaded to satellite level, through the DMMU. These have been instituted to ensure timely and effective support to beneficiaries at every level. The structures have been put in place in close collaboration with all key local and international partners. This will ensure that the intervention is delivered within the ARC agreed timeframes of being able to reach the first beneficiary within 120 days.

For Procurement of service providers, DMMU operations and logistics unit will follow, emergency procurement guidelines which will ensure a quick turnaround. This will ensure that any undue delays are avoided.

b. Saving livelihoods and Key Targeted Beneficiaries

The Emergency Cash Transfer will provide a mechanism to protect livelihood assets of those targeted from the impact of the climate change induced drought. The complementary nature of this intervention, the cash assistance is provided as additional support to beneficiaries who have also benefited from food assistance. This enables them to utilise the cash for any additional needs the household may have therefore it protects them from disposing any assets the household may have.

Where utilised effectively, the cash may also be used to procure assets which further enhances the household resilience and livelihoods. At national level this intervention assists to mitigate the resource constraints currently faced by Government due to limited fiscal space it also assists government to balance the limited resources against many other competing needs.

The Emergency Cash Transfer will be implemented in all the drought affected districts mainly targeting elderly, HIV/AIDS affected persons, women and child headed households, physically disadvantaged, lactating mothers, pregnant. c. Completion of Implementation in 6 months

For the implementation of all relief/ response operations during humanitarian emergencies, the government of Zambia adopted the disaster management operations manual which provides a detailed standard on all processes, activities and key stakeholders. The guidelines highlight the quick lead time for all processes during, before and after response.

The implementation of the cash transfer intervention will follow this quick turnaround for all processes such as selection of implementing partners, procurement and implementation of cash transfers to beneficiaries.

DMMU will utilise existing infrastructure and implementing partners with a proven record of successful quick implementation, these are already used for the implementation of the social cash transfer implemented by the ministry of community development. This will enable implementation to be completed within 6 months.

Key Implementing partners 5.4.4 1 4 Name of Partner Name of contact at Telephone Email address Responsibility and role in . Organization organization number Implementing activity 5 DMMU National 260211252692 vacsecretariat@y The overall coordination of the response Coordinator ahoo.com Assessments, monitoring Ministry of Community Permanent +260211229446 [email protected] Targeting, support implementation Development and Social Secretary (PS) m Services Red Cross Country +260211229446 [email protected] Implementation, monitoring, reporting Representative World Vision Country +260953054584 National_director Implementation, monitoring, reporting International Representative @wvi.org Satellite/District Disaster Chair: To be based on To be based on Targeting and Implementing partner selection management Committee DDMC/SDMC selected districts’ selected districts’ All districts under risk (DDMC/SDMC) during FIP during FIP Grassroot level Faith Community Lead To be based on To be based on Targeting, monitoring, reporting, Based Organisations and for the CBO/FBO selected districts’ selected districts’ Assessments Community Based during FIP FBO/CBOs Organisation

Procurement of goods and services 5.4.5 Procurement Process Based on the disaster management operating manual, when an implementing partner is selected by the disaster management committee, of the affected districts. The implementing partner signs a memorandum of understanding with the government of Zambia through the DMMU. DMMU transfers funds from the DM Trust fund to the district. The district will transfer funds to the implementing partner. Procurement Disaster Management and Mitigation Unit Responsibilities District Disaster management Committee Satellite Disaster management committee Procurement Time Frame one week (7 days) for full complete process once authorisation has been obtained

Items to be procured and sources and supplying institutions 5.4.6 Item Unit Source(s)

Payment service provider institution local Commercial Banks for cash or money transfers Zambia National Commercial Bank (ZANACO) locally sourced Mobile money service providers ZOONA , Airtel Money locally sourced Financial Security and physical money movement G4S (Group 4 Security company Zambia) locally sourced Distribution centres (if mobile money is not used) Local Schools in areas where Locally sourced National Coordination and Resource allocation Ministry of Finance and DMMU Locally sourced

Movement and Tracking of Goods from Suppliers to Beneficiaries 5.4.7 This intervention is implemented by the disaster management and mitigation unit (DMMU), through the disaster management committees at district and satellite levels, who play a critical role in selecting service providers. The service providers are typically mobile money companies such as airtel money, ZOONA, financial institutions and security companies who are the conduit in delivering cash to the targeted beneficiaries.

Through the DMMU, the government of Zambia has put in place internal controls under its operations and logistics department which detail all the operating procedures and timelines of execution to reach beneficiaries, this mechanism is utilised to track movement of money. Once an implementing partner and service providers are elected, the DMMU through the approval of treasury board and ministry of finance will transfer funds to the funds from the Disaster management trust fund to the affected districts within 24 hours

The district disaster management committees will transfer the funds to the implementing partner based on the MOU agreement signed with the partner. The partner will select conduit service providers who will collaboratively work with the implementing team to deliver cash to beneficiaries.

Cash delivery will be monitored and secure, distribution lists are used. These are audited, and the implementing return all left over resources post implementation.

FOOD DISTRIBUTION

Intervention Name 5.4.8 1 4Emergency Food Distribution . 1

Intervention Brief Description 5.4.9 1 4Food Distribution is the most common type of assistance provided by the government of Zambia in times of humanitarian . emergencies. Through this intervention the government is able to saves lives and improve the food security of those 3 impacted by emergencies and acute hunger. Food Distribution helps to meet immediate food needs and protect or facilitate recovery of livelihoods for disaster affected populations.

Food rations will be given out to selected households which have been impacted by drought or other disasters. The food ration consists of cereal and pulses. Although based on sphere humanitarian standards, the food ration should consist of at least 3 items which complete the food and nutrition requirements. The government of Zambia has been providing maize only because of resource constraints. This ration is normally delivered to the beneficiaries as a package of dry items. The ARC pay-out will be used to procure pulses to complement the maize that is provided by the government of Zambia, therefore the food basket provided to those in need will be maize and pulses

Food distribution is used to respond to an assessed food need based on livelihood, economic indicators or key vulnerable group targeting. The objectives of the food distribution arise from the definition of need and could vary from saving lives and protecting the nutritional status of a population to protecting and rehabilitating livelihoods.

Targeting of the food distribution will ensure that food aid is received on the basis of need and endeavours to prevent ‘harm’ by limiting any negative impact of food aid.5 Above all else, targeting will be implemented to maximize the efficient and effective use of resources. All food aid will be geographically targeted in the sense of distributing food to the population of specific geographical area . Targeting generally follow: individuals or households (or groups of households). Eligibility criteria, i.e. the characteristics of those individuals or households to be targeted with food, arise from the objectives and must be practical to apply and monitor.

Geographical areas to be targeted and number of people is primarily informed by findings of In-depth assessments that are conducted at the end of the season. To further identify households to be targeted within these areas, the satellite and district disaster management committees, which are comprised of community headmen, local NGOs, Faith Based Organisations, identify the most vulnerable households.

Monitoring of the food distribution system will ensure that food effectively reaches intended beneficiaries in the agreed quantities while measuring its impact on food security and nutrition. It will also allow for a review of the system itself.

5 In this document “food aid” refers to the food distribution component of a potentially response program

Meeting ARC Eligibility and Implementation Criteria 5.4.10 1 4 d. Time-sensitivity and/or catalytic criteria .

4 The Government of Zambia, through the DMMU provides food assistance annually though the disaster management structures at provincial, district and satellite levels. These have been instituted to ensure timely and effective support to beneficiaries at every level. The structures have been established in close collaboration with all key local and international partners. For this intervention Procurement of food items is decentralised to district level to ensure quick lead times and cost effectiveness. A key component of the food basket is maize which is allocated through the national reserve agency, which has silos across the country to enable quick distribution to the affected areas. Emergency procurement guidelines are followed for the pulses which ensure a quick turnaround. This will ensure that any undue delays are avoided and the intervention is delivered within the ARC agreed timeframes of being able to reach the first beneficiary within 120 days

e. Saving livelihoods and Key Targeted Beneficiaries

Food is one of the key fundamental needs of life, which assists populations to keep alive by meeting daily energy and nutrition requirements. If food is not available, lives and nutritional status can be lost, and vulnerable households are pushed into negative coping mechanisms such as disposing any sources of livelihood they may have. Therefore, the food distribution will assist in preserving the livelihoods of these very poor households with labour constraints who live in areas with dysfunctional food markets and who cannot work to purchase food during drought period. It will also prevent these vulnerable households from engaging in negative coping strategies.

Providing timely emergency relief to the populations whose food security is affected mostly by drought will contribute to maintaining food security during drought periods. This has been proven to protect and rehabilitate affected populations of their livelihoods.

f. Completion of Implementation in 6 months

The implementation of the food distribution intervention will follow this quick turnaround for all processes such as selection of implementing partners, procurement and implementation of cash transfers to beneficiaries.

DMMU will utilise existing infrastructure and implementing partners with a proven record of successful quick implementation, these are already used for the implementation of the annual food distribution. This will enable implementation to be completed within 6 months.

Key Implementing partners 5.4.11 1 4 Name of Partner Name of contact at Telephone Email address Responsibility and role in . Organization organization number Implementing activity 5 DMMU National 260211252692 vacsecretariat@y The overall coordination of the response Coordinator ahoo.com Assessments, monitoring Ministry of Community Permanent +260211229446 [email protected] Targeting, support implementation Development and Social Secretary (PS) m Services Cooperating Partners, UN Resident +260211250800 Resident.cordinat Provision of additional technical and WFP-advisor, UNDP- coordinator [email protected] Financial resources. Advisers on social protection, DFID Red Cross Country +260211229446 [email protected] Implementation, monitoring, reporting Representative World Vision Country +260953054584 national_director Implementation, monitoring, reporting International Representative @wvi.org Satellite/District Disaster Chair: To be based on To be based on Targeting and Implementing partner selection management Committee DDMC/SDMC selected districts’ selected districts’ All districts under risk (DDMC/SDMC) during FIP during FIP Grassroot level Faith Community Lead To be based on To be based on Targeting, monitoring, reporting, Based Organisations and for the CBO/FBO selected districts’ selected districts’ Assessments Community Based during FIP FBO/CBOs Organisation

Procurement of goods and services 5.4.12 Procurement Process Based on the disaster management operating manual, when an implementing partner is selected by the disaster management committee, of the affected districts. The implementing partner signs a memorandum of understanding with the government of Zambia through the DMMU. DMMU transfers funds from the DM Trust fund to the district. The district will transfer funds to the implementing partner. Procurement Disaster Management and Mitigation Unit Responsibilities District Disaster management Committee Satellite Disaster management committee Procurement Time Frame one week (7 days) for full complete process once authorisation has been obtained

Items to be procured and sources and supplying institutions 5.4.13 Item Unit Source(s)

service provider institution local Provision of Maize at District level National Food Reserve Agency locally sourced Mobile money service providers Local District markets locally sourced Transport and Logistics Local transporters facilitated by Implementing partner locally sourced

Movement and Tracking of Goods from Suppliers to Beneficiaries 5.4.14 Based on the national response plan, DMMU relief Operations and Logistics Unit provides food quantity estimates that are needed for each response and sends a formal request to the national Food Reserve Agency (FRA). The FRA has branches across the country at district level. Implementing partners based on the terms of reference agreed with the DMMU will collect maize from the district FRA branches to the partners storage facilities. The FRA allocates free maize grain to DMMU which is drawn by the Implementing Partners to distribute to the affected population. DMMU will transfer the funds to the implementing partner based on the MOU agreement signed as administrative fee. Each year after harvesting time (June-August), the Government of the Republic of Zambia funds the Food Reserve Agency to buy maize from the farmers in order to replenish the Strategic Grain Reserve.

Through the DMMU, the government of Zambia has put in place internal controls under its operations and logistics department which detail all the operating procedures and timelines of execution to reach beneficiaries, this mechanism is utilised to track movement of food items and money. Once an implementing partner and service providers are elected, the DMMU through the approval of treasury board and ministry of finance will transfer funds to the funds from the Disaster management trust fund to the affected districts within 24 hours.

5.5 TARGETING AND SELECTION OF BENEFICIARIES The table below elaborates how targeting will be conducted for the two interventions.

Targeting General Emergency Cash Transfer Food Distribution Targeting Mechanism and Geographical: The first level of For the Emergency cash transfer; For food distribution, based on criteria targeting is geographical. As the the areas identified in the In- season progresses, Rapid The ministry of community depth assessments; selected assessments are conducted in development has an existing implementing partners will further identified affected districts to social cash transfer programme conduct a household level listing evaluate crop performance for the which has a list of regular of vulnerable households which season; based on the findings of the targeted beneficiaries which

Targeting General Emergency Cash Transfer Food Distribution rapid assessments, districts where have been identified based on would be beneficiaries to the food there has been crop failure are the level of vulnerability (ultra- assistance. targeted for further in-depth poor and labour constrained) assessment which is conducted at such as; These households are listed based the end of the rainfall season (April- ▪ Chronically ill on levels of poverty and their May). Recommendations are then ▪ Elderly ability to generate income. drawn for interventions to be ▪ Disabled undertaken for each affected ▪ Lactating mothers The listing is verified by the district. ▪ Pregnant women Satellite disaster management ▪ Child and female headed committees which comprises of Vulnerability: The second criteria households church-based organisations, for targeting is vulnerability. The Individuals who meet this community leaders, and members government through the Zambia criteria and are in the areas of the community who have a Vulnerability Assessment identified by the in-depth good understanding of the living Committee (ZVAC)conducts an in- assessment are targeted for the standards of the community depth assessment of needs and emergency cash transfer. members. vulnerability, the findings of this assessment will highlight the Once the listing has been number of people impacted by a approved and finalised, it disaster(drought)and the areas becomes the distribution list for impacted. The assessments also the food assistance. provide recommendations on the response mechanisms. Who Conducts Targeting. This targeting is conducted by key For the emergency cash transfer, For the emergency cash transfer, stakeholders in disaster the targeting is conducted by; the targeting is conducted by; management at multiple levels; -Ministry of community -Ministry of community development development

Targeting General Emergency Cash Transfer Food Distribution At Community/Village level: By -Selected Implementing partner -Selected Implementing partner traditional leaders, community- with support from the satellite with support from the satellite based organisations, Faith based disaster management disaster management committee Organisations, community committee -Vulnerability Assessment members through the Satellite -Vulnerability Assessment committee Disaster management committees. committee At National Level; The government commissions the ZVAC

Process of verification Information is triangulated between The satellite disaster The satellite disaster management multiple assessments for instance management committee who committee who are part of the the findings of the rapid are part of the community also community also provide ground assessments are triangulated by provide ground verification verification during implementation findings of the in-depth during implementation to to minimise inclusion and assessments. minimise inclusion and exclusion exclusion errors of beneficiaries. errors of beneficiaries. The satellite disaster management committee who are part of the community also provide ground verification during implementation to minimise inclusion and exclusion errors of beneficiaries. Paying for Targeting Through the government/partner The government of Zambia The government of Zambia approved channels through DMMU finances through DMMU finances resources resources direct activity and direct activity and administrative administrative costs. costs. Cooperating partners may Cooperating partners may also also provide match funding. provide match funding.

5.6 INTERVENTION TIMELINES AND STANDARD OPERATING PROCEDURES (SOP)

5.6.1 Insert a seasonal crop calendar

Insert pictorial version of your country’s seasonal calendar (e.g. FEWSNET or others). Please include major agricultural activities and refer specifically to drought-prone crops. Make sure to cite the source of the data

Source: FEWSNET, 2017

5.6.2 Implementation timeline for each intervention

To gain a better understanding of how each activity fits into the ARC pay out timeline, please insert an implementation timeline for this activity. Please use GANT chart format where you list the activities in the Activity column and either highlight in colour or use “X’s” to indicate the month(s) in which the activity occurs. In the last column enter the organization or person who is responsible for carrying out the activity. We have put in some initial steps, but please include additional steps as fit the intervention.

Month Step Ma Jun Sep Implementing Body Jan Feb Mar Apr July Aug Oct Nov Dec y e t 1. Identification of DMMU and Partners drought conditions

(on-going assessments) 2. Confirmation of Govt of the Republic of Zambia(GRZ) drought / declaration 3. ARC payout GRZ/ARC announced 4. Contingency plan DMMU/ARC enacted 5. Needs assessment DMMU/ARC conducted to validate/confirm affected districts 6. Targeting of DMMU and Partners households for intervention 7. Procurement… GRZ 1. Begin DMMU and Partners

distribution

2. monitoring DMMU and Partners

5.6.3 Standard Operating Procedures

Standard Operating Procedures (SOPs) represent a set of tasks that will need to be completed before, during, and after a pay out to ensure that the ARC OP/FIP plans are implemented accordingly and that funding and benefits pass on to beneficiaries within the ARC-defined timelines. These procedures form the basis of any post-pay out audit, so it is important that you think carefully about what is feasible and practical and edit/adjust the table accordingly.

Complete the following table by i) ensuring that each SOP fits your country situation, editing the details where appropriate; ii) indicating the officer responsible for each SOP, iii) verifying the timing, and iv) entering the appropriate turnaround time for each SOP.

Please add additional SOPs to the table, where appropriate.

Turnaround # SOP Name SOP Details Responsible Officer Timing time (days) Type Min Max Informational and Planning Processes 01 Monitor food security Intense monitoring of ARV and other Technical Working Ongoing Ongi ongo Task levels EW tools to track severity and Group (TWG) ng ing deterioration of food security situation 02 Update contact Confirm contact details for TWG Government As soon as 7 10 Task databases members, implementing partners and Coordinator possibility of other staff involved in the rollout of a pay-out is disaster risk management plan identified 03 Mobilize the ARC TWG responsible for Government As soon as 5 7 Task FIP development and contingency planning Coordinator possibility of submission Decide most likely scenario Technical Working pay-out is 3 5 Decision Group identified

Lead/Government Coordinator Decide on most likely regions/districts Technical Working 7 14 Decision to receive ARC funding Group and key stakeholders based on ZVAC assessments and ARV Decide on most likely interventions to Technical Working 5 7 Decision fund given the scenario Group and all key implementing partners Estimate the number of vulnerable Technical Working 7 14 Task people targeted Group Draft FIP, including detailed budget Technical Working 7 21 Task group Obtain internal government approval ARC Government As soon as FIP 7 14 Approval for the FIP Coordinator has been drafted Submit FIP to ARC Secretariat for ARC Government Not less than 30 14 21 Task approval Coordinator days before anticipated pay out 04 FIP re-submission (if Integrate feedback and resubmit FIP if CP Focal in TWG As soon as FIP 7 14 Task necessary) not approved by the ARC Board support- overall Review Process responsibility with decision has Government been coordinator communicated 05 Coordinate Needs Work with the group responsible for Government Before FIP 7 14 Task Assessment coordinating the larger country drought Coordinator as the drafting

response [Zambia Vulnerability lead for Technical Assessment Committee] to get results Working Group who from the needs assessment sits in DMMU Department of disaster risk management 06 FIP adjustment (if Following the needs assessment adjust Technical Working Following the 7 10 Task necessary) the FIP estimates regarding number of Group needs vulnerable people targeted and how assessment ARC funds will be used Financial Processes 07 Notification to Inform National Treasury and/or ARC Program 30 days before 5 7 Task financial institution to Ministry of Finance of the country of Supervisor- National payout receive ARC funding imminent pay out and verify all the coordinator for bank details. disaster management 08 Notification to Inform implementing partner(s) and or ARC Program Once FIP has 7 14 implementing partners procurement sources of possible funds Supervisor been approved of potential funds transfer and verify the bank details and agreed transfer with stakeholders 09 Verify the ARC funds Ensure that a dedicated account for ARC ARC Program Once ARC has 5 7 national account funds exist Supervisor confirmed of Verify that off cycle transfer is possible pay-out if ARC funds go to national treasury 10 Funds transfer to Transfer funds to implementing DMMU national After pay-out 7 14 Task implementing partners agencies and/or procurement sources coordinator- through and audit in timely manner the national treasury. Operational Processes

11 Inform other implementing partners of ARC government As soon as 7 14 Task the possibility of pay-out coordinator possibility of pay-out is Operational Processes identified Coordination Inform county and sub-county ARC government As soon as 5 7 Task structures of possibility of pay-out coordinator possibility of pay-out is identified 12 Targeting and Inform existing programme managers of Chairperson disaster As soon as 5 7 Task registration possibility of scale up (if selected management possibility of intervention is scalable) committee pay-out is identified Identify additional beneficiaries and Lead implementing As soon as pay- 14 21 Task update beneficiaries’ lists partner, in out is collaboration with confirmed satellite disaster management committees 13 Assess completeness of list of Chair Satellite As soon as pay- 14 21 Task beneficiaries in each identified disaster out is Procurement (if district/county management confirmed required by committee intervention selected) Identify responsible actors for the Chair, satellite As soon as 7 10 Task procurement of goods / supplies disaster possibility of management pay-out is committees identified 14 Verify that procurement sources and ARC Program As soon as 7 10 Task Verify functionality of procedures are functional Government possibility of existing systems Coordinator

pay-out is identified 14 Verify functionality of Confirm that food transfer distribution/ ARC Program 10 days before 14 21 Task existing systems payment systems are in place and Government pay-out functional and can handle additional coordinator caseload (in case of scalable intervention) 15 Communication Develop clear communication channels Implementing As soon as pay- 7 10 Task 16 Monitoring and among implementing partners partner out is Evaluation confirmed Identify additional M&E personnel and Focal Point for As soon as 7 14 Task training needs for a possible pay out implementing possibility of partner pay out is identified Ensure implementing partners are ARC Government As soon as pay- 7 14 Task familiar with ARC M&E requirements coordinator out is (interim and final implementation confirmed report) Ensure that implementing partners ARC Government Ongoing during ongo ongo Task submit progress reports coordinator pay out ing ing Ensure that the implementing ARC Government Post - - Task institutions will cooperate with coordinator implementation independent auditors by maintaining all the relevant documents open Submit monitoring reports to ARC ARC Government Ongoing during 60 90 Task Secretariat coordinator pay out

5.6.4 Standard Operating Procedures (SOP)Timelines

The table below indicates the timelines for the SOP. Please note that this is indicative, there may be some small fluctuations on the timelines, however the seasonal calendar for Zambia, starts in November and ends in May. The FIP development will be done prior to the season end, and the post harvest assessments are conducted immediately after harvest

# Month

SOP Name HARVEST

Nov Dec Jan Feb Mar April May Oct Jun Jul Aug Sept Monitor food security levels FIP development Update contact databases FIP submission FIP re-submission (if necessary) Coordinate and execute needs assessment FIP adjustment (if necessary) Notification to financial institution to

receive ARC funding Notification to implementing partners of

potential funds transfer ARC Pay-out Funds transfer Identify responsible actors for the

procurement of goods/supplies

Verify that procurement sources and procedures are functional Inform implementing partners of possibility of payout Inform county/sub-county structures of possibility of payout Identify additional beneficiaries and update beneficiary lists Assess completeness of beneficiary lists in each identified district/county Develop clear communication channels among implementing partners Identify additional M&E personnel and training needs for a possible payout Ensure implementing partners are familiar with ARC M&E requirements

6 FINANCE

6.1 RISK TRANSFER PARAMETERS

Define the risk transfer parameters based on the configuration of African Risk View (ARV). Note: This data will not be finalized until after ARV configuration is complete, but please complete what you can with the best available information.

Coverage period Year: Season:

Expected pay out frequency Maximum pay out Risk transfer level: Estimated premium:

6.2 FINANCIAL ARRANGEMENTS AND ARC PAY-OUT

Funds In-Flow In the event of a pay out, how will funds flow from the Government account to each implementing partner? Explain what checks are in place to ensure the funding flows in a timely manner and can be tracked. Please be as specific as you can. Again, if decentralized, explain how the funds will move from the National account to the regions/districts and what checks/paper work is completed to ensure this happens in a timely manner.

In the event of a pay-out, ARC will transfer funds to the government’s treasury account. The funds will then be paid into the Disaster management trust account, whose activities are designated to the activities of the Disaster Management and Mitigation Unit, the central coordinating body for all disaster responses in Zambia.

To ensure accountability, the national treasury has a board in place which oversees the account, any in-coming and outgoing funds to the account have to be approved by the board. The approval also ensures that the funds to the account are ring -fenced for specific assigned purpose. In this case the funds will be ring fences

The account has multiple sources of funds going to the account however for all incoming funds, the board ensures that there is clarity on the source and purpose, this ensures that there is a clear supporting documentation relating to how the funds would be utilised. Based on the Final Implementation Plan

DISBURSEMENTS

Please provide clear details on how the government agency will manage the ARC funding. Here we are specifically interested in the following questions.

• Where will ARC transfer the pay out funds? • Who is responsible for this account? What type of oversight is provided on this account? • Will ARC be the only source of funding to come into this account? • If there are other potential inflows, what are the possible sources? How will the government be able to identify which funds from ARC? • Will outflows from this account be dedicated to ARC activities? If not, can you describe or list other possible outflows from this account? If these are other possible outflows how will the government be able to trace what funds are used for ARC activities?

6.3 BUDGET PER INTERVENTION

The tables below indicate the unit cost of each intervention per month, these costs have been based on market prices of 2019, when Zambia has experienced the worst drought in 10 years. 1. Emergency Cash Transfer The $9 amount was chosen because Zambia has a social cash transfer program implemented by ministry of community development which distributes cash transfers at $9.

In USD In % of total costs 9 86% Average transfer payment per beneficiary 1.50 14% Annual operational costs per beneficiary 1.50 Total monthly per beneficiary 10.50 100%

2. Food Distribution The cost of grain (Maize) has not been included in the calculation because this will be provided by the government of Zambia, the pay-out would be utilised for the purchase of Pulses to complement maize which is provided by the government of Zambia. The average cost for beans according to the National food reserve agency of Zambia is K3 per Kg; 6.5kg monthly requirement would equate to $0.4, however during drought the supply of food commodities is lower, and the demand is higher, the average cost is therefore calculated at an estimated market rate of $1.2/ kg

In USD In % of total costs Average Cost of Maize - 0% Average cost of pulses ( Beans /Soya) 6.5 kg per 8 80% month @ $1.2 per kg Overhead and admin 2 Total cost per beneficiary 10 100%

7 MANAGEMENT AND LEARNING6

7.1 MONITORING EVALUATION AND LEARNING (MEL)

7.1.1 OVERALL MONITORING AND EVALUATION PLAN

Result Indicator Means of Verification Assumptions Outcome1 1: Improved food Food consumption score for Food distribution lists Assumption: No diversion of food. and nutrition security of targeted households vulnerable households Nutrition assessment reports for the impacted by drought targeted beneficiaries Percentage of people affected as a ration of district population Outcome 2: Improved Time taken to reach the first Interim and post implementation Assumption: Efficient implementation efficiency for beneficiary during response reports implementation structures, as assisting targeted households (TARGET: within 120 days) identified in the Final (time) Process evaluation reports implementation plan/ Operations Plan effectively operational

Outcome 3: Enhanced Number of key stakeholders Response communications plan Assumption: Stakeholder coordination with participating in all critical participation in all critical implementing partners and all processes such as FIP Implementation reports (interim and processes key stakeholders development and satellite Post Implementation)

6 Both complaint and feedback mechanism are going to be used to strengthen M & E of the relief activities. The system will be using the already established structure at all levels. These will report to the DMMU. The principles that will guide the Complaint Response Mechanism will include the following: i) Informed Beneficiaries. (ii) Non- Retaliation. (iii) Principle of Confidentiality

disaster management platforms. Assumption: There will be no bottlenecks to hinder timely implementation Outcome 2: Improved Time taken to reach the first Interim and post implementation Assumption: Efficient implementation efficiency for beneficiary during response reports implementation structures, as assisting targeted households (TARGET: within 120 days) identified in the Final (time) Process evaluation reports implementation plan/ Operations Plan effectively operational

Outcome 4: Improved -Completion response time Implementation reports (Interim and response completion time for for implementing all post implementation) activities earmarked for ARC interventions pay-out Output 1.1: Ultravulnerable Number of households ZVAC In-depth assessment reports Assumption: Good road households impacted by receiving mixed infrastructure in targeted drought identified at satellite interventions (cash and Beneficiary Lists by ministry of geographical locations level relief) community development

Output 1.2: Quality and right Quality and Quantity of food Reports on procurement Assumption: quantity of food distributed, items procured and Available functional markets to to vulnerable households distributed to targeted Food Distribution reports by enable procurement of food items beneficiaries implementing partner

Number of targeted beneficiaries who have received food assistance

Output 1.3: Emergency cash Percentage of people Itemised transactions from mobile Assumption: distributed to all targeted assisted with cash as a ratio money service providers if distribution Functional Infrastructure available beneficiaries of targeted population is conducted by mobile money to enable distribution of cash

Number of targeted Cash transfer reports by implementing beneficiaries having received partner cash support Post Implementation audit reports

7.1.2 MONITORING AND EVALUATION PER INTERVENTION

EMERGENCY CASH TRANSFER The table below elaborates the monitoring and evaluation system in place for the cash distribution intervention

Monitoring and Evaluation System A critical component to the agreement between implementing partners and the government is the partner capacity, which includes partner monitoring system. For the emergency cash transfer intervention, the selected partner will have a system in place which aims to achieve the following key objectives;

Accountability: Based on the Final Implementation Plan, the implementing partner will have a clear system where data on beneficiaries to be targeted, geographical areas and all information relating to implementation. This will be evaluated after implementation to ensure accountability.

Learning: During implementation challenges and any bottlenecks experienced will be adequately documented captured, to ensure that all challenges are timeously addressed and inform any future planning.

Planning: The partner will identify and schedule adequate resources, this will be guided by the partners detailed implementation plan and the final implementation plan. Lessons learned during implementation will also inform plan.

Evaluation: systematically and objectively assess the relevance, performance and success, or lack thereof, of the intervention. This will be done by comparing available data, monitoring implementation and conducting planned periodic evaluations

Tools M and E Plan/Framework: A detailed M&E plan, with well-defined indicators and means of verification such as distribution lists, Itemised transaction lists for mobile money transfers, geographical areas targeted, Bank statements financial statements.

This information will be accessible to government, and any selected evaluation institution which will be commissioned to assess the effectiveness and efficiency of the implementation.

The Emergency Cash transfer is a once off intervention implemented as part of the Existing Monitoring Criteria emergency response during climatic shocks. This intervention was successfully implemented during the 2015/16 drought in Zambia. During this response the government entered into an agreement with Save the children as the implementing partner to distribute cash to beneficiary households. The criteria that was utilised was; ▪ To define clear terms of reference as part of the Partnership Implementation agreement between the government of Zambia and the implementing

partner, which would identify geographical areas, populations to be targeted and available resources. ▪ The partner developed a detailed implementation plan supported by a logical framework and a monitoring plan to guide execution. ▪ DMMU, commissioned an evaluation to assess the effectiveness and efficiency of the execution.

Data to be Collected by the monitoring Geographical Areas: Based on assessment reports and the agreement between system government and implementing partner, the monitoring plan identifies the districts and wards to be targeted for the interventions.

Targeted List of beneficiaries per ward: Full names of targeted beneficiaries, this would also be the distribution list which will be utilised during implementation

Key Demographics of targeted beneficiaries; Demographics of beneficiaries such as age, gender.

Mobile Contacts of beneficiaries: For cash distribution, if mobile cash will be the means of delivery, verified mobile contacts for beneficiaries.

Household Size of Beneficiaries: Information on the size of household to determine how many would benefit from the intervention at household level

Date: Information on when cash is received and verification of receipt by the beneficiaries

Responsibilities for data collection and Data Collection: Data is collected by the implementing partner, however during Analysis evaluation, that data is verified by the appointed evaluation institution.

Data Analysis: Depending on the intended outcome, data analysis would be conducted by multiple stakeholders; The implementing partner during operations to ensure that any deviations are corrected on time. Government to measure the effectiveness/impact of the implementation and to draw lessons which can inform future interventions.

Financing M& E M and E will partly be financed by the implementing partner, and partly by the government.

Part of the criteria for selecting implementing partners is the partners capacity in implementation and m and E, the partners would have a well-established system for implementing and monitoring implementation.

Ensuring timely and accurate collection of To ensure data accuracy data will be verified from multiple sources for instance data data. for targeted beneficiaries will also be verified by data on vulnerable populations at ministry of community development.

FOOD DISTRIBUTION The table below elaborates the monitoring and evaluation system for the food distribution intervention. The approach is not similar to the cash transfer intervention. The Cash transfer is market based intervention whereas food distribution is in kind (provision of mealie meal or maize grain) ,

Monitoring and Evaluation System For the food distribution intervention, monitoring is conducted at multiple levels

Commodity monitoring for Accountability: To ensure the right quantity and quality of food items while ensuring that losses are minimised and accounted for. Based on the Final Implementation Plan, the implementing partner will have a clear system where data on beneficiaries to be targeted, geographical areas and all information relating to implementation.

Learning for continuous improvement: During food distribution challenges and any bottlenecks experienced will be adequately documented captured, to ensure that all challenges are timeously addressed and inform any future planning.

Monitoring to inform Planning: The partner will identify and schedule adequate food distribution resources, this will be guided by the partners detailed implementation plan and the final implementation plan. Lessons learned during implementation will also inform plan.

Evaluation post implementation: systematically and objectively assess the relevance, performance and success, or lack thereof, of the intervention. This will be done by comparing available data, monitoring implementation and conducting planned periodic evaluations

Tools -Food Distribution tally sheets: These are checked against distribution plans -Onsite monitoring reports

This information will be accessible to government, and any selected evaluation institution which will be commissioned to assess the effectiveness and efficiency of the implementation.

Existing Monitoring Criteria Commodities; Monitoring procurement based on needs from assessments, Receipt and delivery of supplied commodities. Targeted Beneficiaries; Number (sex and age disaggregated) of people receiving food assistance, this information is compared with the FIP Food storage, handling and distribution of supplied commodities Market assessment: Food aid availability and unmet needs Ensure equality in distribution Data to be Collected by the monitoring Geographical Areas: Based on assessment reports and the agreement between system government and implementing partner, the monitoring plan identifies the districts and wards to be targeted for the interventions.

Targeted List of beneficiaries per ward: Full names of targeted beneficiaries, this would also be the distribution list which will be utilised during implementation

Key Demographics of targeted beneficiaries; Demographics of beneficiaries such as age, gender.

Household Size of Beneficiaries: Information on the size of household to determine how many would benefit from the food distribution at household level

Date: Information on when cash is received and verification of receipt by the beneficiaries

How is M&E of the specific intervention M and E will partly be financed by the implementing partner, and partly by the financed? government.

7.1.3 Risks and Mitigation Strategies

The table below elaborates, the top risks that would impact successful implementation of the interventions selected by the government of Zambia in this operations plan. It further highlights the mitigation strategies put in place to manage the impact of the risk.

# Likelihood of occurrence Risk of this risk Describe Impact Mitigation Strategy (Example) (low, medium, or high) 1 Exchange Rate Risk- The supplies and Medium If the exchange rate is Although the likelihood is relatively service providers for both higher, the local currency medium for this to happen, the interventions trade in local currency realised would be higher, interventions are supplemented by (Zambian Kwacha), the interventions similarly if the exchange resources from other partners, therefore have been budgeted at the US$/ZK rate is lower the local in instances where the pay-out is lower exchange rate of K13, if there is a currency would be lower. than anticipated, there will be a significant exchange rate changed, the This would impact the supplementary budget by other partners food items to be procured, and cash to possible number of be distributed would change. beneficiaries to be reached. people reached would also be lower than intended. 2 Inflation Risk- if inflation is high, the low Inflation, if high would We will closely, monitor the economic purchasing power of the Zambia impact prices, this in would outlook based on the Zambian central kwacha would be eroded. This would have a knock-on effect on bank reports, any price fluctuations due result in an increase in prices the cost of the commodities to inflation will be incorporated in our for food distribution and planning but also preposition the cost of implementing contributions from donors to supplement the interventions. where the budget falls short.

3 Errors if Inclusion and exclusion during Medium If vulnerable beneficiaries Targeting is not only left to the Targeting (s). The risk of leaving out are left out, the implementing partner, the government beneficiaries during targeting or effectiveness of the ensures that at grassroot level, the including beneficiaries that should not response would be low, it satellite disaster management committee be targeted would also push those that which includes community members, are left out into negative traditional leaders, and implementing coping mechanisms partners play a critical role in identifying vulnerable populations to be targeted. This information is also triangulated by comparing vulnerability data from ministry of community development. 4 Market Failure- Situation where public Medium If there is market failure The choice of intervention will be goods and services cannot be provided beneficiaries targeted for informed by how functional market will efficiently by the market place. Where the emergency cash be at the time of the response. In areas there is little or no supply of necessary transfer would not be able where markets are not functional, food items (food or otherwise). And prices purchase necessary items distribution will be the preferred are unaffordable. therefore compromising the intervention effectiveness of the intervention

5 Pilferage or theft of food items, during Low If there is theft or pilferage The government would ensure that response operations of food items, this would implementing partners have a thorough reduce the quantities of system in place which would ensure food available for secure transparent procurement, storage distribution to targeted and accountability during distribution. vulnerable populations This would also be validated by a strong monitoring system.